TRC's partner, a leading wealth management organization, is hiring a Regional Supervision Manager for a direct hire opportunity!
The Regional Supervision Manager (RSM) is responsible for reviewing and supervising brokerage, advisory, and directly held transactions to ensure compliance with regulatory requirements, firm policies, and best-interest standards.
This role offers the opportunity to play a critical part in ensuring regulatory compliance, supporting financial professionals, and safeguarding client interests within a highly collaborative environment.
Key Responsibilities
Review brokerage, advisory, and direct transactions to ensure suitability, best interest, and policy adherence
Conduct account reviews, transaction supervision, and queue management oversight for assigned Financial Professionals
Evaluate and approve Outside Business Activities, account acceptance, and annual compliance requirements
Monitor supervisory reports and enforce internal controls aligned with FINRA and SEC regulations
Identify and escalate risk-based findings; partner with Supervision and Compliance on corrective actions
Serve as the primary home office contact for supervision-related inquiries
Support onboarding, education, and ongoing training of Financial Professionals and support staff
Collaborate cross-functionally with Supervision, Compliance, and other departments on firm initiatives and regulatory projects
Required Qualifications
Minimum 3 years of experience conducting suitability or best interest transaction reviews within financial services
Active FINRA Series 7, 24, and 63/65 or 66
Strong knowledge of FINRA and SEC regulations
Proven ability to manage multiple priorities in a fast-paced, deadline-driven environment
Excellent analytical, organizational, and problem-solving skills
Preferred Qualifications
FINRA Series 4 and/or 53 (or willingness to obtain)
Bachelors degree preferred; equivalent experience considered
Compensation & Benefits
Competitive total compensation package including medical, dental, vision, 401(k), paid time off, volunteer days, and more.